25-01071.pdf
Expungement Award
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2019062519601 Wells Fargo Clearing Services, LLC CRD 19616 AWC ks.pdf
From January 2018 to July 2022, Wells Fargo failed to report 837,805 fractional share trades to the FINRA/Nasdaq Trade Reporting Facility (FNTRF) or the Over-the-Counter Reporting Facility (ORF). Additionally, from January 2018 to October 2023, the firm failed to report approximately 46,000 error correction trades to the FNTRF or ORF. Therefore, Wells Fargo violated FINRA Rules 6380A(b), 6622(b), and 2010.
FMVA
Financial Modeling & Valuation Analyst (FMVA)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Corporate Finance Institute |
| Qualification and Training Requirements | |
| Prerequisites | None |
| Designation Training Requirements | Online, self-paced training courses |
| Designation Exam Type | Online, open-book course assessments and final exam |
| Continuing Education Requirements | None |
| Verification and Complaints | |
| Online Designation Resource | None |
| Investor Complaint Process | None |
| Published List of Disciplined Designees | None |
2022074266901 Stephen Glover Parks CRD 5074732 AWC ks.pdf
From August 2020 to December 2022, Parks recommended sales of private placements to
retail customers without having the required registration to engage in this activity.
Accordingly, Parks violated FINRA Rules 1210 and 2010. For these violations, Parks is
suspended for three months in all capacities and fined $5,000.